SEC Form 4 · accession 0001683168-17-000578
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stefan J. Murry
Officer — Chief Financial Officer
Period of report
Mar 13, 2017
Accepted (ET)
Mar 15, 2017 · 7:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001158114
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.001 par value | Mar 13, 2017 | M | 334 | $9.96 | A | 62,028 | D | |
| Common Stock, $.001 par value | Mar 13, 2017 | M | 666 | $9.96 | A | 62,694 | D | |
| Common Stock, $.001 par valueF1 | Mar 13, 2017 | S | 1,000 | $50.954 | D | 61,694 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy)F2 | $9.96 | Mar 13, 2017 | M | 334 | D | — | Sep 26, 2023 | Common Stock, $0.001 par value | 334 | 8,000 | D |
| Non-Qualified Stock Option (Right to Buy)F2 | $9.96 | Mar 13, 2017 | M | 666 | D | — | Sep 26, 2023 | Common Stock, $0.001 par value | 666 | 0 | D |
Explanation of responses
- F1The shares were sold in multiple transactions on March 13, 2017 at an actual sale price $50.954 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2The stock option award (combined incentive stock option and non-qualified stock option) vested as to 1/4th of the total number of shares on September 26, 2014 and 1/6th of the shares vest every six months thereafter.